Compliance Monitoring Officer, Fluent Dutch

Role Overview

• Responsibility for the development, maintenance and execution of the risk-based EU hub, NL, and other European Compliance Monitoring Plans ‘CMP’.
• Assistance with other European CMPs/monitoring activities will also be expected, including some quarterly travel (e.g., branch office visits and similar).
• Contribute to the design of the NL and other European annual plans (as subsets of the Global CMP).
• Maintain and enhance regulatory mapping across Dutch, Luxembourg and wider EU regimes.
• Perform topic based/thematic Compliance monitoring reviews (both regional and as part of wider global reviews).
• Performance of ongoing/periodic monitoring activities.
• Track, report, and drive timely remediation of issues/actions arising from monitoring reviews.
• Provide input into compliance reporting for boards and NL risk committee and other relevant committees and forums.
• Lead/participate in due diligence visits and outsourcing oversight reviews of material third party service providers.
• Monitor delegated business activities (internal and external, as appropriate).
• Provide ad-hoc monitoring support for business change, thematic deep-dives and regulatory queries.
• Support key supervisory processes (e.g., SREP).
• Support NL Compliance in DORA incident protocols, providing monitoring insight and serving as an independent compliance challenge.
• Assist with ad-hoc Compliance tasks and project work as required.
• Co-ordinate the production of the Systematic Integrity Risk Analysis Reports (SIRA).
• Collaborate with and provide ad-hoc European regulatory training to other Monitoring team members in the UK, India, and US.

Requirements

• Fluent English and Dutch (written & spoken)
• Solid, relevant Compliance Monitoring or Internal Audit expertise, ideally within Asset Management
• Solid knowledge of MiFID regulations
• Solid knowledge of investment funds structure/operation/regulation (UCITS & AIFs)
• Familiarity with European regulatory regimes, primarily De Nederlandsche Bank (DNB) and Authoriteir Financiele Markten (AFM)
• Team player
• Organised, curious and self-motivated, with good analytical skills
• Good interpersonal skills
• Good working knowledge of Microsoft Office

Benefits

• Flexible working arrangements
• Professional development opportunities
• Health insurance
• Paid time off